Dated: 22nd March 2010
NOTICE
Sub:
Master Circular on Oversight of Members (Stock Brokers/Trading Members/Clearing
Members of any Segment of Stock Exchanges and Clearing Corporations)
Trading
Members of the Exchange are hereby informed that the Exchange has received a Circular Ref No. SEBI/MIRSD/Master Cir-04/2010, dated March17, 2010 from
SEBI regarding
oversight of members, enclosing therewith an Annexure
containing an illustrative list of violations/deficiencies observed by SEBI in
its inspections of trading members.
All trading members are advised to take note of the circular and
the Annexure attached and ensure compliance.
DGM Surveillance & MOP